EFTA01282246.pdf

KYC Print Page 1 of 18 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01977705 Status : 6. Approved One sheet must be established oer relationshi • list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP Bookng Center. New York Relationship Manager: Stewart Oldfield • New PWM Relationship 0 Existing NM Relationship Relationship to PWM: If existing, please indicate since when the relatiorship exists, provide reason for new profile and attach old profile: ••• 2018 Periodic Review - HR Overdue KYC •" Last Approved KYC S • leepers Inc, lege Inc & lege LLC - 01790820 2 Dent Referral 10 RM Prospect I 0 IMermedery/FIN I Other Source (GB, etc.) How Was the dent(s) Introduced? How long has the RM person* known the Please provide details (e.g. name of referral source, ow many years RM personally has known client, etc): Jeffrey Epsten client? reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay a • yes I 2 No retrocession or similar compensation to a third party for the introduction of this (If ys, &tabs): relationship? List all existing and new account involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 2 Jege Inc 10/18/2013 2 ! Jege LLC- 10/18/2013 3 2 Jeers Inc 9/23/2013 Who is the primary contact person for the RM? (Note: Preferred method of contact This person needs to have Darren K. Indyke orclicate I:6one no., fax no., signatory right and/or erred address, etc.): information right for the accounts.): SDNY_GM_00037634 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-000045S EF1'A_0O148246 EFTA01282246  KYC Print Page 2 of 18 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jege Inc • DDA Acct Number (if dkabble). Account Manager: Stewart Oldfietd what a the pirpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to pay for costs associated to Jeffrey Epstein's airplanes. Indicate from where the assets are expected to arrive? l? DB Group: Same Booking Center (indicate account number): Existing • DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): O Plwskal Deposits (specify cash, searitim, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated ranter and volume per month)?: ..4 0-3(moned; $0 • SIK What is the expected volume of assets and currency for the account approx. 90 days after 126,795.55 I Currency I USD opening? What is the expected volume of assets and currency for the account approx. one year after opening? 126,795.55 I Currency I USD Does/will the client have Assets Under Management (MEl) within DB under Eur. 314? Ovine No Please list all parties related to the account. For each party: • Check d a source of wealth description is required for the party • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, describe the party relation to the aoxunt in the "Other column. • Always dcsaibe the relationship between the parties ri the last column. • Please drill down to the ulbmatedunden0 g Beneficial Ownes . _egal Description AccountPIC Settor of Jltimate Ignatorh.imitedFinancial Significant _egal iStantalSetdaiFoundingOther Entity-ISource Hader Owrerfrust / Beneficia r Full POA MermediayShareholdelleepreseMadye Door "please of Wealth Founder of owner A ,FIM) (>-25%) describe required Foundation pon-PIC other roles entity and/or Pates (indicate indicate related ownership relationship to this 45) between amount parties) JEGE, I El 2 g O O O O O O O O O Inc Harry O O . 2 O O Beller ❑ O El O • O O • Je E. ffrey El 2 g 100 3 O g O • Li O O LI O Epsom Darer, 4 O • K. O El • O 21 O • O O • Indyke SONY_GM_00037615 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000459 EFTA_00148247 EFTA01282247  KYC Print Page 3 of 18 2. Account Ownership Summary Account Name: Jege LLC DOA Acct. Number ttraldilablei Account Manager: Stewart Oldfield What s the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is daily expense ncluirig taxes and payments for Jeffrey Epstein's *planes. Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Booki-ig Center (indicate DB location and account details): O Other Institution — (Indicate name & location): . Physical Deposits (specify cash, sectritim, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: -, 14/month; $100 - $47K What is the expected volume of assets and currency for the account approx. 90 days after 1284,777.18 I Currency I t/SD opening? What is the expected volume of assets and currency for the account approx. one year after 284,777.18 1Currecy I t/SO opening? Does/will the client have Assets tinder Management (Aunt) within DB under Eur. 3M? 0 Yes ENO Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this accent (> 1can be selected). • f none of the check boxes apply, describe the party' relation to the account in the "Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the ultimatedundeffinng Benefcial Owners . _egal Description Account PlC Set for of Jlbmate Senator tmitedFinancial Significant egal Srantor/SetdoifoundingOdier Entayaf Source Helder Ownerfrust/ Beneficialbr Full POA ntermediayShareholdeittepreseManve Donor (please of Wealth Founder of Owner ?OA ,FIM) (>=2.5%) describe squired Foundation Ion-PIC other roles entity and/or Pates (ncleate 'ndicate related ownership relationship to this %) between account parties) JEGE, 2 I P ra LIG DO O O OO O O O Jeffrey 2 O El E. O OD 0 w .4 OO O O O MSoleem ber, Epstein 3 OE ' ler1 O OO O w .4 OD O O O Bel Darren 4 O M K. O DO O w .4 OD O O O Indyke SONY_GM_00037636 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000460 EFTA_00148248 EFTA01282248  KYC Print Page 4 of 18 2. Account Ownership Summary Account Name: leepers Inc Acct Number (bravado/lei Account Manager: Stewart Oldie:id What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? The purpose of this account is to hold and make investmens in marketable securities. Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Bookirig Center (indicate DB location and account details): O Other Institution - (Indicate name & location): • Physical Deposits (specify cash, scarifies, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per mouth)?: ••• 4-10/mcith; 52K • S40K What is the expected volume of assets and currency for the account approx. 90 days 13,269,297.20 Currency I USD after opening? I What is the expected volume of assets and currency for the account approx. one year 3,269,297.20 Currency USD after opening? Does/will the client have Assets Under Management (MM) within DB under Eur. 3M? Orme No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this accout (> 1can be selected). • f none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always describe the relation hip between the parties in the last column. • Please drill down to the ultimate/undedying Beneficial Owner(s). .gal Description Account PlC Setdor of Jltimate Signatory Limited inancel Significant .egal GrantalSetdorfounding Other Dittrof Source Helder Owneffrust/ Benerciabor Full POA ntermediaryphatehdderRepresentabve Donor (please of Wealth Founder of Owner POA NM) (>=25%) describe required Foundation Yon•PIC other rapes entity and/or Pares (ridcate nthcate related to ownership relatonship this %) between DOX411t parties) 1 e e Inc jeePersi g O O O • • • O O O Director & Darren 2 O O 72 M • O O ALttenzed K. Indyke • O O O O Signal:0'; 3 O • "wry gel et • • O • 2 O O O O O lean 4 0 • Br an • Ann • 0 N 2 0 0 0 O O Wiebracht Jeffrey 5 O K E. Epstein O O O 2 El O O ioo O O O SONY_GM_00037637 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000461 EFTA_00148249 EFTA01282249  K Ye Print Page 5 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein Date of Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S. Corny of Otizenship: United States Has client resided outside of Little Saint James Sant Thomas 00802 Vrgn Islands, U.S. his/her coLntry of nationality • yin No Address of primary residence: for 5 years a more? Profession/Occupation: Self Empolyed Tax ID I SSN: Current Employer: Southern Trust Company Inc Position/Title/Rank: President Adckess of employer: 6100 Red hook Quarter 83 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a D0remgnized regulated entity in the financial r-i industry? or an entity listed on a DEllecognisei exchange? (Not applicable for operating entities Li Yes 5 No Is the inckvidual a Politicaly Exposed Person (PEP)?OT Yes, desate) Connection with Prince ,74. Yes O No Andrew and Bill Calton To the best of yes knowledge, is the individual related to an employee of the DB group?, 0 Family • Friendship i None Family or Friends*, cfescnbe) N/A To the best of yes knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • sires 2 No services)?(d Yes,descrite) N/A If appkatle, indicate which bank officers have met the Indicate where and when the dent meeting(s) took place: person: Client Private Client Mace of Date: Bank Officer Name(s) Bank Office: Other Location (specify): panicile: Business: Stewart Oilfield 2 • O 6)2812017 . • O • • • 0 Wealth Details fa this individual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated ri Section 2) Nature of the Individual's Busness: Private investment Pnmary Country of source of wealth/source of Funds? United States Pnmary industry of sane of Wealth/Source of Funds? High Risk Frontlet Institutions Summarize Sane of Wealth: 2 Business Owner 0 SaLary/Earnings 2 investment 0 Inhaitance/Gilis pother: Further Dearite Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trust, how did settlor accumulate wealth? Fa rtheitance, how did family acorn bate vrealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, Moon-ant business partners.) Jeffrey Edward Epstein (ban January 20, 1953) S an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. He Wes in the US Virgin Wands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advisng highnet•wath client on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of client with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio•based The Limited chain of women's clothing stores, became a well4mown client. Wexner acquired Abercrombie & Fitch the folowing year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas ri the U.S Virgin Islands. In 2003, Epstein bed to acquire New York magazine. Other bidders were advertising executive Donny Deutch, investor Nelson Pa media mogul and publisher Matmer Zuckerman, who had the New York Daly News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 main. In 2004, Epstein and Zuckerman committed up to 525 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein arid SDNY_GM_00037638 CONFIDENTIAL - PURSUANT TO FED. R. Ce DENTIAL DB-SDNY-0000462 NJF I h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148250 EFTA01282250  KYC Print Page 6 of 18 Zuckerman were equal parthers in the venture. Roshan, as it editor-in-chief, retained a smal owners' slake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invest the asset of their client and gets their revenue from the return of thine investment Southern Trust invests ri different portfolios catered to their client and makes their revenue based on the returns and the fees associated with managing their client's asset Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worth($): $503 MM + Amount of asset planned to iwest with PWM(S): 2,300,000.00 Other Known Fruandal Institutiors: Institution: Country: S. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: Institution: Country: S. Assets Under Mgt: Please indicate the family stuabon of the irekvidual (marital status, other family members, etc.): WA SONY_GM_00037639 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000463 EFTA_00148251 EFTA01282251  K Y ( ' Print Page 7 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Harry Beller • Date of Birth: CoLntry of Residence: United States Canby of Ctzenship: United States Has dient resided outside of hi/her country of nationality • yin No Address of primary residence: for 5 years a more? Profession/Occupation: Accountant Tax ID I SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Accountant Address of employer: 575 Ledngton Avenue, 9th Floor Monsey NY United States 10022 Does the person work as senior executive of a DB.recognized regulated entity in the financial 2 No industry? or an entity listed on a DB•recognised exchange? (Not applicable for operating entities " Yes 1 Is the individual a Pditicaly Exposed Person (PEP)?(/f Yes, describe) N/A • Yes 2 ND To the best of your knowledge, is the individual related to an employee of the DB groupW • Family • Friendship i None Family or Friendshio, descnbe) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal morel, client referral source, suppler of goods or ■• Yes 121No services)?(/ res,descrbe) N/A If appkatie, indicate which bank officers have met the Indicate where and when the dent meeting(s) took place: person: Client Private Client Mace of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O O • • • • • O O Wealth Details for this individual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth desuiption as indicated in Section 2) Nature of the Individual's Business: Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Summarize Sake of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Gifd DOther: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ousts, how did setdor accumulate wealth? For nheritance, how did family accumulate vrealth?For business owners, how long in business, how many employees, level of oral:al:Sy? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith(l): Amount of assets planned to meat with PV/f4($): Other Known Hnandal Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: Institution: Est. Assets Under Mgt: SDNY_GM_00037640 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000464 EFTA_00148252 EFTA01282252  KYC Print Page 8 of 18 Please indicate the farndy Srtuadon of the inovidual (manta) status, other family members, etc.): SDNY_GM_00037641 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000465 EFTA_00148253 EFTA01282253  K Y ( ' Print Page 9 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren K. Indyke • Date of Birth: Country of Ref:denim: United States Gantry of Otaenship: United States Has dient resided outside of hither country of nationality • yin No Address of primary residence: for 5 years a more? Profession/Occupation: Accountant Tax ID / SSN: 098.548596 Current Employer: Southern Frendal LLC Positionakle/Rank: Accarkant Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB.recognized regulated entity in the financial n r, No industry? or an entity listed on a DB.recognisei exchange? (Not applicable for operating entities " Yes Is the individual a Politically Exposed Person (PEP)?(/f Yes, describe) WA O Yes @ No To the best of your knowledge, is the individual related to an employee of the DB group?(if • Family • Friendship i None Fam.ify or Friendshio, descnbe) WA To the best of yes knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dient referral source, suppber of goods or • Yes 2 No servkies)?(f resdesarbe) N/A If applicatie, I-ideate whidi bank officers have met the hi:kr-ate where and when the dent meeting(s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: /Domicile: Business: Stewart Oldfield 121 • O 12/12/2016 ill • • • • O O Wealth Details fa this individual are not filed in, because they are the same as fa the following person: 38. Wealth Details (Only for parties requiring source of wealth desuipbon as indicated in Section 2) Nature of the Indmduars Easiness: Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Summarize Sane of Wealth: O Business Owner O Salary/Eamings O Investment O Inhentance/Gifts O Other: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For nhentance, how did family accumulate vrealth?For business owners, how long in business, how many employer, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith(l): Amount of assets planned to overt with PV/M($): Other Known Hnandal Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: SDNY_GM_00037642 CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000466 EFTA_00148254 EFTA01282254  KYC Print Page 10 of 18 Please indicate the farndy Srtuadon of the inovidual (manta) status, other family members, etc.): SDNY_GM_00037643 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000467 EFTA_00148255 EFTA01282255  KYC Print Page 11 of 18 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jean Anne Brennan W.ebracht Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Otaenship: Vrgin Islands, U.S. Has dient resided outside of his/her country of nationality • yin No Address of pinery residence: for 5 years or more? Profession/Occupation: Finance Tax ID / 55W: Current Employer: Southern Frendal LLC Position/Title/Rank: Finance Address of employer: 6100 Red Hock Quarter, 83 St, Thomas VIrgri Wands, U.S. 00802 Does the person work as sale* executive of a DB•recognized regulated entity in the financial r-i mkt:say? or an entity listed on a DB.recognisei exchange? (Not applicable for operating enbbes Li Yes 5 No Is the indvidual a Politica/1y Exposed Person (PEP)?(/f Ye; desarbe) WA • Yes O No To the best of your knowledge, is the individual related to an employee of the DB groupW • Family • Friendship i None Family or Friendshoz descnbe) WA To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, suppber of goods or •Yes 2 No serviaes)?(f Yes descrite) N/A If appbcatie, richcate which bank officers have met the Irdcate where and when the dent meeting(s) took place: person: Client Private Client Mace of Bank Officer Name(s) Bank Office Location (specify): Date: : Domicile: Business: O O O • • 0 • • • O Wealth Details fa this individual are not filed in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth descripbon as indicated ri Section 2) Nature of the Individual's Business: Pnmary Country of source of wealth/source of Funds? Pnmary industry of saute of Wealth/Source of Funds? Summarize Soiree of Wealth: O BuRness Owner O SaLary/Eamings O Investment O Inhentance/Ofrs Dotter: Further Desate Source of Wealth /Detail the histay of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? Fa inhentance, how did family accumulate vrealth?For business owners, how long in business, how many employer, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Woith($): Amount of assets ',lamed to joint with PV/M($): Other Known Anandal Institutions: Institution: Catty: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: SDNY_GM_00037644 CONFIDENTIAL — PURSUANT TO FED. R. Ce I ONFIDENTIAL h tps://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000468 EFTA_00148256